Registered Investment Advisors (“RIAs”) are often presented with many challenges when dealing with complex legal, regulatory and compliance issues. Ryan Swanson’s services for RIAs are focused on guiding you through these obstacles to solve problems that can impede your ability to service your clients effectively. The following list is a sampling of the services Ryan Swanson’s attorneys regularly provide for a wide variety of RIAs and their clients throughout the Pacific Northwest.

SECURITIES ENFORCEMENT DEFENSE

Defend RIAs in securities enforcement investigations and actions brought by the SEC and State of Washington DFI Securities Division

Counsel clients on regulatory/reporting issues

Work with compliance consultants on legal aspects of compliance issues

LITIGATION/ARBITRATION

Defend RIAs in customer claims asserted privately or brought in court or arbitration

Negotiate/mediate resolutions of customer claims

Investigate and prosecute claims by RIAs against investment sponsors

EMPLOYMENT AGREEMENTS

Create employment agreements

Negotiate severance agreements

Advise regarding joining Protocol for Broker Recruiting

Advise regarding recruitment from Protocol and non-Protocol member firms